Investment adviser · CRD 120440

RESEARCH AFFILIATES

Investment adviser filing (IA)

RESEARCH AFFILIATES, LLC

NEWPORT BEACH, CA, United States · Form ADV filed Sep 18, 2026

Regulatory AUM: $32.2B
Client accounts: 32
Employees: 31
Advisory professionals: 15

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Investment companies	15	$22,073,939,019	68.5%
Pooled investment vehicles	9	$4,702,063,511	14.6%
Government entities	5	$4,679,534,250	14.5%
Retirement plans	Fewer than 5	$767,263,976	2.4%

Filing source

Form ADV 2131740 · Sep 18, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

15 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

RESEARCH AFFILIATES EQUITY INTERNATIONAL, L.P.Hedge Fund · Last reported Jul 9, 2015$1.07BGross asset value

Form D fundraising filings

Research Affiliates Equity International, L.P.

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Fund details & source

Fund ID: 805-1375228147
Reported beneficial owners: 22
Minimum commitment: $10M
Form D file number: 021-86201

Form ADV 934201 · Jul 9, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RESEARCH AFFILIATES EQUITY US LARGE, L.P.Hedge Fund · Last reported Jul 9, 2015$777MGross asset value

Form D fundraising filings

Research Affiliates Equity US Large, L.P.

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Fund details & source

Fund ID: 805-2321414908
Reported beneficial owners: 37
Minimum commitment: $10M
Form D file number: 021-103677

Form ADV 934201 · Jul 9, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RESEARCH AFFILIATES EQUITY EMERGING MARKETS, L.P.Hedge Fund · Last reported Jul 9, 2015$429MGross asset value

Form D fundraising filings

Research Affiliates Equity Emerging Markets, L.P.

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Fund details & source

Fund ID: 805-4896312309
Reported beneficial owners: 19
Minimum commitment: $10M
Form D file number: 021-90538

Form ADV 934201 · Jul 9, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

ENHANCED RAFI GLOBAL LONG SHORT LPHedge Fund · Last reported Jun 1, 2012$107MGross asset value

Form D fundraising filings

ENHANCED RAFI GLOBAL LONG SHORT, LP

Fund administrator HEDGECOUNT, LLC SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Marketer ALTEGRIS INVESTMENTS, INC. LA JOLLA, California, United States Related to adviser: No

Marketer OPPENHEIMER & CO. INC. NEW YORK, New York, United States Related to adviser: No

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker MACQUARIE CAPITAL (USA) INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

ALTEGRIS INVESTMENTS, INC.
CRD 8258 · SEC 8-24931

OPPENHEIMER & CO. INC.
CRD 249 · SEC 801-887

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

MACQUARIE CAPITAL (USA) INC.
CRD 36368 · SEC 8-47198

Fund details & source

Fund ID: 805-2179151427
Reported beneficial owners: 23
Minimum commitment: $1M
Form D file number: 021-86202

Form ADV 650576 · Jun 1, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RESEARCH AFFILIATES CAPITAL, L.P.Hedge Fund · Last reported Jul 17, 2018$84.4MGross asset value

Form D fundraising filings

RESEARCH AFFILIATES CAPITAL LP

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian PACIFIC INVESTMENT MANAGEMENT COMPANY LLC NEWPORT BEACH, California, United States Related to adviser: No

Custodian VANGUARD MARKETING CORPORATION MALVERN, Pennsylvania, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

ERNST & YOUNG
PCAOB 42

VANGUARD MARKETING CORPORATION
SEC 8-21570

Fund details & source

Fund ID: 805-4166723900
Reported beneficial owners: 2
Minimum commitment: $5M
Form D file number: 021-57648

Form ADV 1216230 · Jul 17, 2018 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RESEARCH AFFILIATES LDI 2040, LPHedge Fund · Last reported Jun 1, 2012$72.7MGross asset value

Form D fundraising filings

RESEARCH AFFILIATES LDI 2040 L.P.

Fund administrator HEDGECOUNT, LLC SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Fund details & source

Fund ID: 805-3745684617
Reported beneficial owners: 3
Minimum commitment: $10M
Form D file number: 021-93312

Form ADV 650576 · Jun 1, 2012 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

RESEARCH AFFILIATES EQUITY US SMALL, L.P.Hedge Fund · Last reported Jul 9, 2015$46.3MGross asset value

Form D fundraising filings

Research Affiliates Equity US Small, L.P.

Fund administrator HC GLOBAL FUND SERVICES SAN FRANCISCO, California, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG SAN FRANCISCO, California, United States

Custodian BNY MELLON CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

BNY MELLON CAPITAL MARKETS, LLC
SEC 8-35255

Fund details & source

Fund ID: 805-5365424092
Reported beneficial owners: 6
Minimum commitment: $10M
Form D file number: 021-81584

Form ADV 934201 · Jul 9, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Sep 18, 2026. View historical filings

Reported services

Investment company portfolio management · Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets

Principal office

660 NEWPORT CENTER DRIVE, SUITE 300
NEWPORT BEACH, CA, 92660, United States

CRD 120440

Filing source

Form ADV 2131740 · Sep 18, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.